0000899243-18-003624.txt : 20180213 0000899243-18-003624.hdr.sgml : 20180213 20180213094750 ACCESSION NUMBER: 0000899243-18-003624 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180213 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALEN JOHN V CENTRAL INDEX KEY: 0001181211 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38386 FILM NUMBER: 18600221 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cardlytics, Inc. CENTRAL INDEX KEY: 0001666071 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 263039436 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 675 PONCE DE LEON AVENUE, NE STREET 2: SUITE 6000 CITY: ATLANTA STATE: GA ZIP: 30308 BUSINESS PHONE: 888-795-5802 MAIL ADDRESS: STREET 1: 675 PONCE DE LEON AVENUE, NE STREET 2: SUITE 6000 CITY: ATLANTA STATE: GA ZIP: 30308 3/A 1 doc3a.xml FORM 3/A SUBMISSION X0206 3/A 2018-02-13 2018-02-08 0 0001666071 Cardlytics, Inc. CDLX 0001181211 BALEN JOHN V C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, STE. 250 WESTPORT CT 06880 1 0 0 0 Series A-R Redeemable Convertible Preferred Stock Common Stock 950000 I See footnote Series B-R Redeemable Convertible Preferred Stock Common Stock 1145953 I See footnote Series C-R Redeemable Convertible Preferred Stock Common Stock 514023 I See footnote Series D-R Redeemable Convertible Preferred Stock Common Stock 202377 I See footnote Series E-R Redeemable Convertible Preferred Stock Common Stock 119254 I See footnote Series G Redeemable Convertible Preferred Stock Common Stock 53660 I See footnote Series G' Redeemable Convertible Preferred Stock Common Stock 260097 I See footnote Each share of Series A-R Redeemable Convertible Preferred Stock, Series B-R Redeemable Convertible Preferred Stock, Series C-R Redeemable Convertible Preferred Stock, Series D-R Redeemable Convertible Preferred Stock, Series E-R Redeemable Convertible Preferred Stock, Series G Redeemable Convertible Preferred Stock and Series G' Redeemable Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis, has no expiration date and will convert upon the closing of the Issuer's initial public offering. Shares held directly by Canaan VIII L.P. ("Canaan LP"). Canaan Partners VIII LLC ("Canaan LLC" and together with Canaan LP, the "Canaan Entities") is the sole general partner of Canaan LP. Investment and voting decisions with respect to the shares held by Canaan LP are made by the managers of Canaan LLC, collectively. John Balen, a manager and member of Canaan LLC, serves as the representative of the Canaan Entities on the Issuer's board of directors. Mr. Balen disclaims beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest, if any, in such securities by virtue of the limited liability company interests he owns in Canaan LLC. This amendment is being filed to disclose the Reporting Owner's indirect beneficial ownership of the securities set forth in Table II. This amendment is reflected by the addition of Table II and the footnotes set forth under "Explanation of Responses" and the deletion of the previous "Remarks" which stated "No securities are beneficially owned". /s/ John V. Balen 2018-02-13